National Archives
Framework Governing Use of Presidential Library Facilities and Staff Gao ID: GAO-11-390 February 28, 2011The National Archives and Records Administration (NARA) operates presidential libraries for all of the former U.S. presidents since Herbert Hoover. These libraries received over 2.4 million visits in 2009, including researchers, public program attendees, and museum visitors. Each library is associated with a private foundation, which raised the funds to build the library and then turned the library facility over to the federal government. These foundations typically have ongoing relationships with the libraries they built, and some of these library-foundation relationships involve sharing of staff and facilities. Per congressional request, this report describes the principal laws, regulations, and NARA policies that govern library-foundation relationships and the appropriate use of library facilities and staff. GAO reviewed specific laws governing presidential libraries, and NARA regulations and policies. We also reviewed applicable laws and regulations governing activities held on government property and acceptable activities of federal employees. Further, we interviewed relevant NARA officials. NARA reviewed a draft of this report and had no substantive comments. NARA made technical suggestions which we incorporated as appropriate. GAO is not making any recommendations in this report.
The federal laws specific to presidential libraries focus primarily on the design and construction of library facilities and, once constructed, the deeding of the library facilities, or the rights to use the facilities, to the federal government. NARA building-use regulations outline the permissible and prohibited uses of presidential library facilities by outside organizations. Prohibited uses include profit-making, commercial advertisement or sales, partisan political activities, or sectarian activities. Other laws and regulations govern what federal employees may and may not do in their official capacity. As federal employees, NARA library employees must follow these rules in their interactions with the foundation associated with the library. NARA's Office of Presidential Libraries has developed a policy manual and standards that address topics such as museum activities and records. This office also works with the NARA General Counsel to develop guidance governing the library-foundation relationship, such as those related to the foundations' use of library facilities and when and how library staff can support foundation activities. The libraries also have one or more written agreements with their associated foundation that govern different aspects of the relationship. These agreements differ in format; content; and the extent to which they address use of facilities, library and foundation staff relationships, and political activities.
GAO-11-390, National Archives: Framework Governing Use of Presidential Library Facilities and Staff
This is the accessible text file for GAO report number GAO-11-390
entitled 'National Archives: Framework Governing Use of Presidential
Library Facilities and Staff' which was released on February 28, 2011.
This text file was formatted by the U.S. Government Accountability
Office (GAO) to be accessible to users with visual impairments, as
part of a longer term project to improve GAO products' accessibility.
Every attempt has been made to maintain the structural and data
integrity of the original printed product. Accessibility features,
such as text descriptions of tables, consecutively numbered footnotes
placed at the end of the file, and the text of agency comment letters,
are provided but may not exactly duplicate the presentation or format
of the printed version. The portable document format (PDF) file is an
exact electronic replica of the printed version. We welcome your
feedback. Please E-mail your comments regarding the contents or
accessibility features of this document to Webmaster@gao.gov.
This is a work of the U.S. government and is not subject to copyright
protection in the United States. It may be reproduced and distributed
in its entirety without further permission from GAO. Because this work
may contain copyrighted images or other material, permission from the
copyright holder may be necessary if you wish to reproduce this
material separately.
United States Government Accountability Office:
GAO:
Report to Congressional Requesters:
February 2011:
National Archives:
Framework Governing Use of Presidential Library Facilities and Staff:
GAO-11-390:
GAO Highlights:
Highlights of GAO-11-390, a report to congressional requesters.
Why GAO Did This Study:
The National Archives and Records Administration (NARA) operates
presidential libraries for all of the former U.S. presidents since
Herbert Hoover. These libraries received over 2.4 million visits in
2009, including researchers, public program attendees, and museum
visitors. Each library is associated with a private foundation, which
raised the funds to build the library and then turned the library
facility over to the federal government. These foundations typically
have ongoing relationships with the libraries they built, and some of
these library–foundation relationships involve sharing of staff and
facilities.
Per your request, this report describes the principal laws,
regulations, and NARA policies that govern library–foundation
relationships and the appropriate use of library facilities and staff.
GAO reviewed specific laws governing presidential libraries, and NARA
regulations and policies. We also reviewed applicable laws and
regulations governing activities held on government property and
acceptable activities of federal employees. Further, we interviewed
relevant NARA officials.
NARA reviewed a draft of this report and had no substantive comments.
NARA made technical suggestions which we incorporated as appropriate.
GAO is not making any recommendations in this report.
What GAO Found:
The federal laws specific to presidential libraries focus primarily on
the design and construction of library facilities and, once
constructed, the deeding of the library facilities, or the rights to
use the facilities, to the federal government. NARA building-use
regulations outline the permissible and prohibited uses of
presidential library facilities by outside organizations. Prohibited
uses include profit-making, commercial advertisement or sales,
partisan political activities, or sectarian activities. Other laws and
regulations govern what federal employees may and may not do in their
official capacity. As federal employees, NARA library employees must
follow these rules in their interactions with the foundation
associated with the library. NARA‘s Office of Presidential Libraries
has developed a policy manual and standards that address topics such
as museum activities and records. This office also works with the NARA
General Counsel to develop guidance governing the library–foundation
relationship, such as those related to the foundations‘ use of library
facilities and when and how library staff can support foundation
activities. The libraries also have one or more written agreements
with their associated foundation that govern different aspects of the
relationship. These agreements differ in format; content; and the
extent to which they address use of facilities, library and foundation
staff relationships, and political activities.
Figure: Key Steps in the Establishment of a Modern Presidential
Library:
[Refer to PDF for image: illustration]
(1) President‘s second term, the President or his supporters form a
foundation and begin fundraising for the library. Foundation raises
money to construct a presidential library facility[A].
(2) After leaving office, the President gives records and other
presidential materials to NARA[B].
(3) NARA and foundation discuss library plans[C].
(4) Foundation constructs library per NARA architecture and design
standards[A].
(5) Foundation sends letter of offer to NARA with description and
plans for the library[A].
(6) After NARA reports to Congress, NARA and foundation sign an
agreement that deeds or gives the exclusive right to use the facility
or a portion of the facility to NARA[C].
(7) NARA receives operating endowment and then accepts transfer of the
facility[B].
(8) NARA employees process, preserve, and provide access to the
records and manage the museum, education, and public programs[B].
(9) Foundation supports educational programs and exhibits[A].
Source: GAO.
[A] Activity conducted by Foundation.
[B] Activity conducted by National Archives and Records Administration
(NARA).
[C] Activity conducted by Both.
Note: Where the library is built on a university campus, the
university is also involved in the various stages of library
development.
[End of figure]
View [hyperlink, http://www.gao.gov/products/GAO-11-390] or key
components. For more information, contact Michael Brostek at (202) 512-
9110 or brostekm@gao.gov.
[End of section]
Contents:
Letter:
Background:
Federal Laws and Regulations, NARA Policies, and Individual Library
Agreements Provide Guidance on the Library-Foundation Relationship:
Agency Comments:
Appendix I: Comments from the National Archives and Records
Administration:
Appendix II: GAO Contact and Staff Acknowledgments:
Tables:
Table 1: Presidential Library Facts:
Table 2: Relevant Laws Governing Presidential Libraries:
Table 3: NARA Policies Relating to Library-Foundation Relationships:
Figure:
Figure 1: Key Steps in the Establishment of a Modern Presidential
Library:
Abbreviations:
GSA: General Services Administration:
NARA: National Archives and Records Administration:
OSC: U.S. Office of Special Counsel:
[End of section]
United States Government Accountability Office:
Washington, DC 20548:
February 28, 2011:
The Honorable Danny K. Davis:
Ranking Member:
Subcommittee on Health Care, District of Columbia, Census and the
National Archives:
Committee on Oversight and Government Reform:
House of Representatives:
The Honorable William Lacy Clay:
House of Representatives:
The National Archives and Records Administration (NARA) operates
presidential libraries for all of the former U.S. presidents since
Herbert Hoover. These libraries received over 2.4 million visits in
2009, including researchers, public program attendees, and museum
visitors. Each library is associated with a private foundation and
some of these library-foundation relationships involve sharing of
staff and facilities. Libraries are generally funded by appropriated
funds, donations, museum store revenue, admission and other fees,
endowments, and foundation funds. Some libraries are located on
university campuses and also receive some support from the university.
In some cases, state or local governments also contributed to library
construction and provide ongoing support for some libraries. NARA
manages its federal employees' activities and determines the
appropriate use of federal facilities and federal funds at the
presidential libraries based on an understanding of the applicable
laws, regulations, and policies. On the basis of your request and
subsequent discussions with your staff, this report describes the
principal laws, regulations, and NARA policies that govern library-
foundation relationships and the appropriate use of library facilities
and staff.
We reviewed applicable laws and regulations governing activities held
on government property and acceptable activities of federal employees.
We also reviewed specific laws governing presidential libraries, and
NARA regulations and policies. We interviewed NARA officials in the
Office of Presidential Libraries, General Counsel, and Inspector
General. To identify the principal laws, regulations, and NARA
policies that govern library-foundation relationships, we reviewed 29
policy documents, laws, and regulations that related to presidential
libraries. We identified 17 that were relevant to the library-
foundation relationship for facilities use, staff, and political
activities. We also reviewed an additional 30 documents that NARA
described as agreements establishing the relationship between
presidential libraries and private foundations.[Footnote 1] We
conducted our work from May 2010 through February 2011 in accordance
with all sections of GAO's Quality Assurance Framework that are
relevant to our objective. The framework requires that we plan and
perform the engagement to obtain sufficient and appropriate evidence
to meet our stated objectives and to discuss any limitations in our
work. We believe that the information and data obtained, and the
analysis conducted, provide a reasonable basis for the findings and
conclusions in this product.
Background:
Prior to 1940, U.S. presidents or their decedents typically retained
ownership of papers documenting their terms of office. The fate of
these papers was up to the former president or his decedents, and some
were lost forever. In 1940, Franklin D. Roosevelt was the first
president to arrange to have a library built using privately raised
funds and to then transfer both the facility and his papers to the
federal government. Through its Office of Presidential Libraries, NARA
operates presidential libraries housing the papers of all subsequent
presidents through George W. Bush,[Footnote 2] as well as President
Roosevelt's predecessor in the White House, Herbert Hoover. At the end
of a president's term, NARA staff begin working with the president's
official records and other materials. This work goes on during library
construction and during the period between the dedication of the
library facility and its transfer to the federal government. Table 1
provides facts about the 13 presidential libraries and museums
operated by NARA.
Table 1: Presidential Library Facts:
Library name: Herbert Hoover Presidential Library and Museum;
Location: West Branch, Iowa;
Year of transfer to the federal government[A]: 1964;
Size of NARA-owned or controlled space (square feet): 47,169;
Visits in 2009[B]: 96,324.
Library name: Franklin D. Roosevelt Presidential Library and Museum;
Location: Hyde Park, New York;
Year of transfer to the federal government[A]: 1940;
Size of NARA-owned or controlled space (square feet): 108,750;
Visits in 2009[B]: 144,332.
Library name: Harry S. Truman Library and Museum;
Location: Independence, Missouri;
Year of transfer to the federal government[A]: 1957;
Size of NARA-owned or controlled space (square feet): 96,612;
Visits in 2009[B]: 120,348.
Library name: Dwight D. Eisenhower Presidential Library and Museum;
Location: Abilene, Kansas;
Year of transfer to the federal government[A]: 1964 (library) 1966
(museum);
Size of NARA-owned or controlled space (square feet): 109,254;
Visits in 2009[B]: 207,367.
Library name: John F. Kennedy Presidential Library and Museum;
Location: Boston, Massachusetts;
Year of transfer to the federal government[A]: 1979;
Size of NARA-owned or controlled space (square feet): 134,293[C];
Visits in 2009[B]: 329,766.
Library name: Lyndon Baines Johnson Library & Museum;
Location: Austin, Texas;
Year of transfer to the federal government[A]: 1984;
Size of NARA-owned or controlled space (square feet): 134,695;
Visits in 2009[B]: 274,253.
Library name: Nixon Presidential Library and Museum;
Location: Yorba Linda, California;
Year of transfer to the federal government[A]: 2007;
Size of NARA-owned or controlled space (square feet): 55,373;
Visits in 2009[B]: 82,906.
Library name: Gerald R. Ford Presidential Library and Museum;
Location: Ann Arbor, Michigan (library) Grand Rapids, Michigan
(museum);
Year of transfer to the federal government[A]: 1980-1982[D];
Size of NARA-owned or controlled space (square feet): 104,764[E];
Visits in 2009[B]: 134,276.
Library name: Jimmy Carter Library and Museum;
Location: Atlanta, Georgia;
Year of transfer to the federal government[A]: 1986;
Size of NARA-owned or controlled space (square feet): 85,592;
Visits in 2009[B]: 64,033.
Library name: Ronald Reagan Presidential Library and Museum;
Location: Simi Valley, California;
Year of transfer to the federal government[A]: 1991;
Size of NARA-owned or controlled space (square feet): 147,400;
Visits in 2009[B]: 444,240.
Library name: George Bush Presidential Library and Museum;
Location: College Station, Texas;
Year of transfer to the federal government[A]: 1997;
Size of NARA-owned or controlled space (square feet): 69,049;
Visits in 2009[B]: 228,209.
Library name: William J. Clinton Presidential Library and Museum;
Location: Little Rock, Arkansas;
Year of transfer to the federal government[A]: 2004;
Size of NARA-owned or controlled space (square feet): 68,698;
Visits in 2009[B]: 321,430.
Library name: George W. Bush Presidential Library;
Location: Dallas, Texas[F];
Year of transfer to the federal government[A]: NA;
Size of NARA-owned or controlled space (square feet): NA;
Visits in 2009[B]: NA.
Source: GAO analysis of NARA and presidential library data.
Notes: NA = Not Applicable.
[A] The National Archives was created as an independent agency in
1934, but became a component of the General Services Administration
(GSA) in 1950. In 1985, NARA again became an independent agency. As a
result of these changes, some libraries were transferred to GSA and
some were transferred to NARA, depending on whether NARA was an
independent agency at the time of transfer. These dates indicate the
year of transfer of title or legal control to the federal government.
[B] The number of visits includes researchers, public program
attendees, and museum visitors. Researchers or others who return to
the library on multiple days are counted once on each day they visit.
[C] An approximate 30,000 additional square feet of space is currently
being constructed at the Kennedy Library.
[D] The museum is located in Grand Rapids, Michigan, and was
transferred to the federal government in 1982. Although the dedication
ceremony for the library in Ann Arbor was in 1981, according to NARA
officials, staff moved into the library facility in 1980.
[E] The Gerald R. Ford Presidential Library and Museum is housed in
two separate locations. This is the total square feet of both the
museum and the library.
[F] The George W. Bush Library is temporarily located in Lewisville,
Texas, while a permanent facility is under construction in Dallas.
[End of table]
For most of the libraries, as the president's term was coming to a
close or after it ended, friends and supporters of the president
created a private charitable foundation to collect donations to
construct a library.[Footnote 3] Under current law, NARA collaborates
with each presidential library foundation on the construction of the
library facility, and when the facility construction is complete, the
foundation deeds or gives the right to use the library facility or a
portion of the facility to NARA. The Presidential Libraries Act of
1986 also requires that the National Archives Trust Fund receive an
operating endowment for each library before NARA can accept the
transfer of the library.[Footnote 4] These endowments fund some of the
federal government's costs for the operation and maintenance of the
presidential libraries.[Footnote 5] Figure 1 captures key steps of the
current process of establishing a presidential library. Some
variations from this process may exist.
Figure 1: Key Steps in the Establishment of a Modern Presidential
Library:
[Refer to PDF for image: illustration]
(1) President‘s second term, the President or his supporters form a
foundation and begin fundraising for the library. Foundation raises
money to construct a presidential library facility[A].
(2) After leaving office, the President gives records and other
presidential materials to NARA[B,D].
(3) NARA and foundation discuss library plans[C].
(4) Foundation constructs library per NARA architecture and design
standards[A].
(5) Foundation sends letter of offer to NARA with description and
plans for the library[A].
(6) After NARA reports to Congress, NARA and foundation sign an
agreement that deeds or gives the exclusive right to use the facility
or a portion of the facility to NARA[C].
(7) NARA receives operating endowment and then accepts transfer of the
facility[B].
(8) NARA employees process, preserve, and provide access to the
records and manage the museum, education, and public programs[B].
(9) Foundation supports educational programs and exhibits[A].
Source: GAO.
Notes: Where the library is built on a university campus, the
university is also involved in the various stages of library
development.
[A] Activity conducted by Foundation.
[B] Activity conducted by National Archives and Records Administration
(NARA).
[C] Activity conducted by Both.
[D] Under the Presidential Records Act of 1978, 44 U.S.C. § 2201 et
seq., the United States owns all presidential records from the moment
of their creation or receipt by a President or his administration. The
Archivist of the United States assumes custody and control of
presidential records when the President leaves office.
[End of figure]
Each library is operated by a director who is a NARA employee, and
other library staff who are also NARA employees. The staffs typically
include an administrative officer, facility manager, education and
exhibits specialists, archivists, archives technicians, and clerks,
among other staff. The director of a presidential library is appointed
by the Archivist of the United States, the head of NARA, who consults
with the former president in selecting a candidate.[Footnote 6]
The Office of Presidential Libraries is headed by the Assistant
Archivist for Presidential Libraries. The Office of Presidential
Libraries is responsible for overseeing the management of records at
the libraries, the development of policies and procedures for the
management and operation of presidential libraries, and the
development and coordination of plans, programs, and resource
allocations at presidential libraries. The Office of Presidential
Libraries is also involved in the creation of new presidential
libraries.
Funds appropriated by Congress support NARA's staffing,
administration, security, maintenance, and renovation projects at the
library. In fiscal year 2009, NARA spent more than $68 million in
appropriations to operate the presidential libraries. In addition, for
fiscal year 2009 NARA received $41.5 million in special appropriations
for repairs and restoration to the John F. Kennedy Presidential
Library and Museum ($22 million), the Franklin D. Roosevelt
Presidential Library and Museum ($17.5 million), and the Lyndon Baines
Johnson Library & Museum ($2 million).
Each private foundation is operated by a director, president, or CEO
and other staff that may include a chief financial officer and
director of communications, among other positions. Foundation support
enables the libraries to expand their research and archival functions,
as well as undertake additional projects such as public outreach
efforts. The foundations' level of involvement in the activities at
their associated library, such as collaboration on public and
educational programs, varies from library to library. Foundations may
also sponsor their own programs and activities, such as hosting a
lecture series or academic discussion or producing a newsletter. NARA
officials told us that, in most cases, these kinds of programs and
activities are offered in conjunction with and supported by library
staff. For example, a foundation may pay for a lecture series that is
held in NARA-controlled space.
The foundations may also generally support their associated libraries
with additional funding for new facilities and equipment and for
updating permanent exhibits, adding program space, and giving the
library the use of foundation staff time for library activities.
Foundations provide these resources directly to their associated
library. This process generally is handled at the library level based
on the relationship between the library and the foundation. Each
presidential library also has a trust fund that receives revenue from
the sale of publications, museum shop sales, document reproductions,
audio-visual reproductions, library admissions, public space rentals,
educational conferences, and interest income. Trust-fund money helps
the library cover the cost of museum shop inventory, personnel,
operational and financial systems, equipment, and supplies. These
funds may also support exhibit-related and public-programming
expenses. In fiscal year 2009, the trust funds for presidential
libraries had a total end-of-year balance of approximately $15
million. In addition to trust funds, presidential libraries also
maintain funds from gifts donated to a library for general library
support or for specific projects or programs.
Federal Laws and Regulations, NARA Policies, and Individual Library
Agreements Provide Guidance on the Library-Foundation Relationship:
Federal Laws Govern Library Creation:
The federal laws specific to presidential libraries focus primarily on
the design and construction of library facilities and, once
constructed, the deeding of the library facilities, or the rights to
use the facilities, to the federal government. Congress has enacted
three primary statutes[Footnote 7] that provide the legal rules for
the design, construction, and transfer of library facilities.
Table 2: Relevant Laws Governing Presidential Libraries:
Law: The Presidential Libraries Act of 1955 (Pub. L. No. 84-373);
Provisions: Established the basic policy for the creation of federally
maintained presidential libraries;
Provided the policies for:
* accepting land and buildings for a presidential archival depository;
* depositing presidential papers, documents, and other historical
materials;
* cooperating with organizations or individuals interested in
studying/researching the historical materials;
* entering into agreements with outside organizations, such as
universities, institutes, or foundations, to use their land,
facilities, or equipment for a presidential archival depository; and;
* charging fees for visiting the museum and exhibits and for accepting
gifts or donations;
This act, as amended by the statutes below, applies to all federally
maintained presidential libraries.
Law: The Presidential Libraries Act of 1986 (Pub. L. No. 99-323);
Provisions: Established certain congressional reporting requirements,
architectural and design requirements, and fiscal limitations for the
constructing of presidential libraries. One of the main requirements
was an operating endowment of 20 percent of the total cost of building
and equipping the facility or the portion of the facility transferred
to NARA control.[A] If the presidential library foundation constructs
a facility that exceeds 70,000 square feet, the operating endowment
increases with every square foot the facility is in excess of 70,000
square feet[B] This act applies to those libraries starting with
George H.W. Bush.
Law: The Presidential Historical Records Preservation Act of 2008
(Pub. L. No. 110-404);
Provisions: Increased the minimum endowment to 60 percent of the
assessed value of the library facility.[C] This act applies to
libraries whose presidents take the oath of office as President for
the first time on or after July 1, 2002.
Source: GAO analysis of applicable legal statutes.
Notes: Other statutes relevant to presidential libraries, such as the
Presidential Recordings and Materials Preservation Act of 1974 and the
Presidential Records Act of 1978, discuss the ownership and management
of presidential records.
[A] The foundation must offer the operating endowment by gift or
bequest before the Archivist, the appointed head of NARA, may accept
the library facility. NARA may only use income from the operating
endowment to cover facility operation costs and may not use it for
archival functions.
[B] The operating endowment requirement applies to the George Bush
Presidential Library and Museum, the William J. Clinton Presidential
Library and Museum, and all future libraries, including the George W.
Bush Presidential Library.
[C] The act also established a grant program for "Presidential Centers
of Historical Excellence." These grants are for eligible entities
wishing to preserve and provide access to historical records of former
Presidents that do not have a depository managed by the federal
government.
[End of table]
Federal Regulations Govern the Use of Library Facilities by Outside
Organizations:
NARA's building-use regulations outline the permissible and prohibited
uses of the presidential library facilities by other groups. According
to the regulations, other groups may request the use of presidential
library facilities when the activity is:
* sponsored, cosponsored, or authorized by the library;
* conducted to further the library's interests; and:
* does not interfere with the normal operation of the library.
The regulations prohibit the use of the facilities for profit-making,
commercial advertisement or sales, partisan political activities, or
sectarian activities.[Footnote 8]
When NARA considers it to be in the public interest, NARA may allow
for the occasional, nonofficial use of rooms and spaces in a
presidential library and charge a reasonable fee for such use.
[Footnote 9] Additionally, the regulations require outside
organizations to apply for the use of library space by writing to the
library director and submitting an Application for Use of Space in
Presidential Libraries.[Footnote 10] Applying organizations must agree
to review their event plans with library staff and that the plans will
conform to library rules and procedures. The application also confirms
that the organization will not charge admission fees, make indirect
assessment fees for admission, or take collections for their events.
Further, the application prohibits the organization from suggesting
that the library endorses or sponsors the organization.
Federal Laws and Regulations Govern the Use of Staff:
Federal laws and regulations specify for all federal employees--
including federal employees working at presidential libraries--what
they may and may not do in their official capacity. For example,
federal employees may not engage in commercial or political activity
associated with their federal positions. According to NARA's General
Counsel, there are no special laws or regulations that apply only to
how library employees interact with the foundation or, if applicable,
university associated with their library, but the laws and regulations
that apply throughout the federal government also apply to library
employees.
The Hatch Act[Footnote 11] provides the rules for the activities of
library employees at events such as candidate debates or speeches by
candidates that sometimes take place at the libraries. The Hatch Act,
which is enforced by the U.S. Office of Special Counsel (OSC),
[Footnote 12] prohibits certain political activities for federal
employees. At an event such as these (or at any other time) a library
employee may not:
* use official authority to interfere with an election;
* solicit, accept, or receive political contributions from any person;
* run for nomination or as a candidate for election to a partisan
political office; or solicit or discourage the political activity of
any person connected to the business of the employee's office.
NARA employees must also follow the Standards of Ethical Conduct for
Employees of the Executive Branch issued by the Office of Government
Ethics.[Footnote 13] The standards emphasize that employees have a
responsibility to the U.S. government and its citizens to place
loyalty to the Constitution, laws, and ethical principles above
private gain, and set forth 14 general principles. Among other things,
the standards describe limitations on actions an employee may take
while seeking other employment, and require that employees use the
time they are serving in an official capacity in an honest effort to
perform official duties.
The Office of Presidential Libraries Provides Further Guidance on
Facilities' Use and Staff Activities:
NARA's Office of Presidential Libraries oversees the 13 presidential
libraries. That office has developed systemwide policies, including
the Presidential Libraries Manual, which discusses museum activities
and records topics, and the NARA/Office of Presidential Libraries
Architecture and Design Standards for Presidential Libraries. The
Office of Presidential Libraries also works with the NARA General
Counsel on the development of policies governing the library-
foundation relationship. The NARA General Counsel has issued legal
opinions on foundations' use of library facilities, when and how
library staff can support foundation activities, and if library staff
can fundraise for the foundations. Additionally, NARA officials
explained that the NARA General Counsel and the Office of Presidential
Libraries negotiate with the foundations on the agreements
establishing the relationship between a new library and its associated
foundation.
According to NARA officials, library directors at the individual
libraries consult with the NARA General Counsel about activities that
could have political undertones before allowing a program or event.
For example, library directors have contacted NARA General Counsel to
inquire about using libraries as polling places. NARA approved the use
of libraries as polling places as long as certain requirements were
met such as that no political solicitation occurs on library-
controlled property. In another example, a local political party
requested but was not allowed to hold a political forum at the library.
NARA officials told us that NARA does not have internal directives
specifically regarding the supervision of library and foundation
staff. They said that when library staff are concerned about
supervision or other issues while working on a collaborative project
with the foundations, they are expected to seek advice from the NARA
General Counsel's ethics program staff. Table 3 provides a summary of
NARA policies and NARA General Counsel opinions concerning library-
foundation activities and other outside uses of the libraries.
Table 3: NARA Policies Relating to Library-Foundation Relationships:
Library-foundation relationship scenarios/issues: Use of library
facilities by foundations or other organizations;
Related NARA policies and General Counsel opinions addressing these
situations:
* A library may provide office space at no charge to the foundation;
* Libraries and foundations may cosponsor events in public spaces;
* The public spaces can be used by foundations and other organizations
for lectures, seminars, etc., when the activities are authorized by
the Director. The events and activities must further the library's
interests, not conflict with normal operations, relate to the mission
and programs of the library, and be consistent with the perception of
the library as a research and cultural institution. Religious
services, partisan political, profit-making, or commercial events or
events that are essentially social in nature are not permitted. The
Director will ordinarily assess additional charges to reimburse the
government for use of the space.
Library-foundation relationship scenarios/issues: Employees working in
support of foundation activities;
Related NARA policies and General Counsel opinions addressing these
situations:
* Library employees may engage in activities, including fundraising
activities, involving the foundations as part of their official duties
as long as NARA and the library are authorized to engage in the
foundation-funded or sponsored activity and the agency/library expects
to derive a direct benefit from the activity;
* When working with the foundations, library employees cannot accept
compensation from the foundations, lobby Congress, or represent the
foundations before other federal agencies;
* Employees are also subject to federal ethics statutes and
regulations.
Library-foundation relationship scenarios/issues: Candidate events
(debates, forums, etc.);
Related NARA policies and General Counsel opinions addressing these
situations:
* According to the NARA General Counsel, libraries can host candidate
events, such as multicandidate debates and candidate speeches, because
they further the libraries' mission of educating the public on matters
of civic interest; the programs cannot endorse political views,
policies, activities, or undertakings of any person or group;
* Candidate events must be organized and sponsored by the foundation;
a nonpartisan, nonprofit organization; or a media organization. A
political party may sponsor a debate as long as a media organization
or other nonpartisan group cosponsors the event. Neither NARA nor the
library may be a sponsor;
* The library director must approve the candidate event, but cannot
participate in the subject matter of the event nor can any of the
library's employees. They may not suggest candidates to participate in
the debates. Library directors should consult with Office of
Presidential Libraries management and the NARA General Counsel before
agreeing to allow candidate events.
Library-foundation relationship scenarios/issues: Library director
working in support of foundation activities;
Related NARA policies and General Counsel opinions addressing these
situations:
* Directors may fundraise for their library's gift fund or their
foundation when the purpose is to support the library. The directors
cannot fundraise for the foundations for nonlibrary purposes;
* Library directors and employees cannot attend political fundraisers
for the purpose of raising funds for the library or identify
themselves as library employees at political fundraisers, even if they
attend the fundraisers during off-duty hours.
Source: GAO analysis of NARA policy documents.
[End of table]
Library-Foundation Agreements Further Define Their Relationship:
Each presidential library has a written agreement with its associated
foundation and, if applicable, the associated university that governs
aspects of the relationship between the entities.[Footnote 14] These
agreements differ in format; content; and the extent to which they
address use of facilities, library and foundation staff relationships,
and political activities. These agreements must be consistent with the
applicable statutes and NARA regulations. At some libraries, the
library-foundation relationship is addressed by more than one
agreement due to the updating or supplementing of original documents,
or to the changing format of the agreements over time. Some of the
oldest agreements are primarily a series of Letters of Offer and
Acceptance between the foundation and the General Services
Administration (GSA), with later agreements taking the form of a
mutually signed agreement between the foundation and NARA. For
example, the Ford museum and the Hoover, Truman, Eisenhower, and
Kennedy library agreements (from 1957 to 1980) include one or more
Letters of Offer and Acceptance between the foundation and the GSA.
Later agreements from more-recently established libraries, as well as
earlier libraries that updated their agreements, include mutually
signed agreements between the foundation and NARA. Of these later
agreements, some focus on a specific project or aspect of the library-
foundation relationship, while some focus broadly on the library-
foundation relationship.
We reviewed the library-foundation agreements and found that, over
time, the agreements have become increasingly more detailed,
especially regarding staff, each entity's use and control of the
different parts of the facilities, and political activities. Earlier
agreements are largely focused on the transfer of property from the
foundation to the United States, while later agreements address
additional aspects of the library-foundation relationship. For
example, later agreements address which entity controls specific parts
of the facilities, including details related to one entity's use of
the other's space (such as the permitted purposes for using the
other's space, and reimbursing the other entity for costs associated
with using its space). Later agreements are also more likely to
clarify the different roles and responsibilities of library and
foundation staff, and address activities or tasks that library staff
are not allowed to perform. Some of the later agreements also address
potential conflicts of interest between the library and the
foundation. For example, two of the later agreements state that
foundation staff are to act in the best interests of the foundation,
and NARA staff are to act in the best interests of NARA and the United
States. Regarding political activities, two of the later agreements
state that library space is not allowed to be used for partisan
political activities. Also, NARA regulations give library directors
the authority to establish supplemental policies. According to NARA
officials, these supplemental policies may provide further detail on
the library-foundation relationship regarding facilities, staff, and
political activities. Our review was limited to NARA-wide policies and
library-foundation agreements and we did not review any local library
supplemental policies.
NARA officials explained that the written agreements between
individual libraries and the foundations are important, but that they
also do not fully prescribe the relationships between the entities.
They said that the relationships are shaped over time and by factors
such as the particular foundation's interest in collaborating with the
library or doing charitable work elsewhere. For example, the Harry S.
Truman Library and Museum and its associated foundation, the Truman
Library Institute, are colocated and often collaborate on educational
programs. The foundation describes itself as working with the library
to "fulfill the Truman Library's commitment to research and
education." In contrast, the mission of the foundation associated with
the Jimmy Carter Library and Museum, The Carter Center, does not
directly focus on the library, but rather "to advance peace and health
worldwide." NARA officials said that interaction between individual
libraries and their foundations vary, but they also stressed that no
one foundation's emphasis is more correct than another. These are
examples of differences among foundations and how those differences
shape the level of involvement by a foundation with a library.
Agency Comments:
We provided a draft of this report to NARA. NARA had no substantive
comments and provided technical comments by e-mail, which we
incorporated as appropriate. NARA's letter is reprinted in appendix I.
We will send a copy of this report to the Archivist of the United
States. This report will also be available at no charge on GAO's Web
site at [hyperlink, http://www.gao.gov]. If you or your staff have any
questions about this report, please contact me at (202) 512-9110 or
brostekm@gao.gov. Contact points for our Offices of Congressional
Relations and Public Affairs may be found on the last page of this
report. Key contributors to this report are listed in appendix II.
Signed by:
Michael Brostek:
Director, Tax Issues Strategic Issues Team:
[End of section]
Appendix I: Comments from the National Archives and Records
Administration:
National Archives:
David S. Ferriero:
Archivist Of The United States:
700 Pennsylvania Avenue, NW
Washington, DC 20408-0001:
[hyperlink: http://www.archives.gov]
Tel: 202-357-5900:
Fax: 202-357-5901:
February 23, 2010:
Michael Brostek:
Director, Strategic Issues:
Government Accountability Office:
Director of Information Technology Management Issues:
441 G Street NW:
Washington DC, 20548:
Dear Mr. Brostek:
Thank you for the opportunity to comment on the draft report GAO-11-
390, National Archives: Framework Governing Use of Presidential
Library Facilities and Staff. We appreciate the thorough work by your
staff to gain an understanding of the complex and individual
relationships between NARA and the foundations that support each of
our Presidential Libraries.
Under separate cover, we provided several technical comments. We have
no substantive comments for this report. If you have any questions
regarding this memo or our action plan process, please contact Mary
Drak, NARA's Audit Liaison at 301-8371668 or via email at
mary.drak@nara.gov.
Signed by:
David S. Ferriero:
Archivist of the United States:
[End of section]
Appendix II: GAO Contact and Staff Acknowledgments:
GAO Contact:
Michael Brostek, (202) 512-9110 or brostekm@gao.gov:
Staff Acknowledgments:
In addition to the contact named above, David Lewis, Assistant
Director; Sonya Phillips; Juliann Gorse; Brianna Benner; Sabrina
Streagle; Lois Hanshaw; Susan Christiansen; Lindsay Read; and Jessica
Thomsen made key contributions to this report.
[End of section]
Footnotes:
[1] Some presidential libraries are located on university campuses and
the libraries have ongoing relationships with those institutions.
Because this report concerns the libraries and their associated
private foundations, it does not go into detail on library-university
relationships where they exist. Generally, the framework governing
library-foundation relationships also applies to any library-
university relationships.
[2] The George W. Bush Presidential Library and Museum is under
construction in Texas. The library currently operates in a temporary
facility leased by NARA.
[3] These foundations are 501(c)(3) tax-exempt charitable
organizations. At some libraries, the foundation created to build a
library went out of business after completing that task, with another
foundation created to further the library's activities and programs,
other charitable missions of interest to the president or his
supporters, or both.
[4] While the 1986 act does not specify who must raise the endowment
funds, for both libraries currently subject to the requirement--the
Clinton and George H.W. Bush Libraries--NARA told us that the library
foundations raised and donated the monies that form the principal
portion of the endowments, and NARA expects the same to occur for the
George W. Bush Library.
[5] As discussed later, the amount of the endowment required from
foundations has increased over time.
[6] The Archivist consults with the library's associated foundation or
other representative of the former president after the president's
death.
[7] A fourth statute, the Consolidated Appropriations Resolution,
2003, Pub. L. No. 108-7, div. J, title V, § 513, 117 Stat. 11, 462
(Feb. 20, 2003), increased the endowment funding requirement from 20
percent to 40 percent of the assessed value of the library for
Presidents who take the oath of office for the first time after July
1, 2002. This statute is not listed in table 2 because no libraries
were constructed under the 40 percent requirement, and the requirement
was subsequently increased (to 60 percent) by the Presidential
Historical Records Preservation Act of 2008.
[8] 36 C.F.R. § 1280.94(d).
[9] 44 U.S.C. § 2112(e).
[10] 36 C.F.R. § 1280.94(c). The Application for Use of Space in
Presidential Libraries has Office of Management and Budget control
number 3095-0024, and its agency number is NA Form 16011.
[11] 5 U.S.C. §§ 1501-1508.
[12] The U.S. Office of Special Counsel (OSC) is an independent
federal investigative and prosecutorial agency whose primary mission
is to safeguard the merit system by protecting federal employees and
applicants from prohibited personnel practices. OSC promotes
compliance by government employees with legal restrictions on
political activity by providing advisory opinions on, and enforcing,
the Hatch Act.
[13] 5 C.F.R. pt. 2635.
[14] The George W. Bush Presidential Library is currently under
construction and GAO did not review any agreements related to it.
[End of section]
GAO's Mission:
The Government Accountability Office, the audit, evaluation and
investigative arm of Congress, exists to support Congress in meeting
its constitutional responsibilities and to help improve the performance
and accountability of the federal government for the American people.
GAO examines the use of public funds; evaluates federal programs and
policies; and provides analyses, recommendations, and other assistance
to help Congress make informed oversight, policy, and funding
decisions. GAO's commitment to good government is reflected in its core
values of accountability, integrity, and reliability.
Obtaining Copies of GAO Reports and Testimony:
The fastest and easiest way to obtain copies of GAO documents at no
cost is through GAO's Web site [hyperlink, http://www.gao.gov]. Each
weekday, GAO posts newly released reports, testimony, and
correspondence on its Web site. To have GAO e-mail you a list of newly
posted products every afternoon, go to [hyperlink, http://www.gao.gov]
and select "E-mail Updates."
Order by Phone:
The price of each GAO publication reflects GAO‘s actual cost of
production and distribution and depends on the number of pages in the
publication and whether the publication is printed in color or black and
white. Pricing and ordering information is posted on GAO‘s Web site,
[hyperlink, http://www.gao.gov/ordering.htm].
Place orders by calling (202) 512-6000, toll free (866) 801-7077, or
TDD (202) 512-2537.
Orders may be paid for using American Express, Discover Card,
MasterCard, Visa, check, or money order. Call for additional
information.
To Report Fraud, Waste, and Abuse in Federal Programs:
Contact:
Web site: [hyperlink, http://www.gao.gov/fraudnet/fraudnet.htm]:
E-mail: fraudnet@gao.gov:
Automated answering system: (800) 424-5454 or (202) 512-7470:
Congressional Relations:
Ralph Dawn, Managing Director, dawnr@gao.gov:
(202) 512-4400:
U.S. Government Accountability Office:
441 G Street NW, Room 7125:
Washington, D.C. 20548:
Public Affairs:
Chuck Young, Managing Director, youngc1@gao.gov:
(202) 512-4800:
U.S. Government Accountability Office:
441 G Street NW, Room 7149:
Washington, D.C. 20548:
